ADV disclosures

Part 1 filings lead 168 daily firm filing observations on September 21

The September 21, 2026, feed contains 168 daily firm filing observations. Part 1 appears in 165 records, Part 2 brochures in 83, and client relationship summaries in 67; the document categories overlap.

By Daniel Mercer··2 min read

The September 21, 2026, ADV filing feed contains 168 daily firm filing observations. The complete daily list, rather than a selection of prominent firms, supplies the total and document-category breakdown. Five named records below illustrate what was filed and the regulatory assets under management reported for each firm. A filing observation alone does not establish substantive changes to a brochure or other document.

Part 1 appears in 165 observations, Part 2 brochures in 83, and client relationship summaries in 67. Those categories overlap: an observation can include multiple document types. They describe the same daily list of 168 firm observations and should not be added together to produce a firm total. The complete table preserves the document types associated with each firm record.

Vanguard Group Inc. recorded a Part 1 filing observation on September 21, 2026. The firm reported regulatory assets under management of $11,092.7 billion. Its named record is one of the Part 1 observations in the full daily list.

Vanguard Capital Management, LLC has a separate Part 1 observation on September 21. Its record reports $8,436.2 billion in regulatory assets under management. That amount belongs to this named firm record; it is not combined here with the amounts reported under other firm names.

Vanguard Portfolio Management, LLC also recorded a Part 1 filing observation on September 21. Regulatory assets under management for this firm were $2,656.5 billion. The three Vanguard-named records each retain their own firm identity and reported amount in the complete list.

Morgan Stanley appeared in the record for September 21, 2026, with filings covering Part 1 and the client relationship summary. The firm reported $1,961.9B in regulatory assets under management and included a notice filings field in its Part 1 record.

LPL Financial LLC was also observed filing Part 1 and client relationship summary documents on September 21, 2026. Its regulatory assets under management totaled $819.1B. The firm's Part 1 record also contained a notice filings field.

CategoryCount
Part 1165
Part 2 brochure83
Client relationship summary67

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Complete record list

The full-period list contains 168 records. The homepage breakdown covers the complete list: Part 1 (165); Part 2 brochure (83); Client relationship summary (67).

All 168 records observed from 09/21/2026 through 09/21/2026, including the examples discussed above. A firm can file multiple document types. An observation of a filing does not itself prove a substantive document change.

Showing rows 51–75 of 168. The CSV contains the complete table.

FirmFirm CRDObservedDocuments filedReported regulatory AUM (USD)
Eurazeo North America, Inc.30044409/21/2026Part 1; Part 2 brochure1,614,608,829 USD
Everpar Advisors LLC32646809/21/2026Part 1; Form CRS587,838,031 USD
Excalibur Management Corp.11083609/21/2026Part 1; Part 2 brochure; Form CRS712,076,143 USD
Farview Management, LLC32126909/21/2026Part 1; Part 2 brochure6,239,069 USD
Federation Asset Management Pty Ltd.32901609/21/2026Part 1Not reported
Feoh Investments UK LLP33894109/21/2026Part 1Not reported
First Sentier Investors28366909/21/2026Part 15,394,743,193 USD
First Sentier Investors28367009/21/2026Part 13,638,138,695 USD
First Sentier Investors (Hong Kong) Limited28155309/21/2026Part 132,874,051,381 USD
First Sentier Investors (Singapore)16512409/21/2026Part 110,839,432,963 USD
Fortuna Private Wealth Management Corp.34372209/21/2026Part 1; Part 2 brochure; Form CRSNot reported
Generouswealth, LLC30826309/21/2026Part 1; Form CRS110,365,201 USD
Gladstone Management Corporation12248209/21/2026Part 1; Part 2 brochure4,772,797,279 USD
Global Strategic Nextgen Ocio17530009/21/2026Part 1; Part 2 brochure; Form CRS1,609,486,864 USD
Grand Alliance Asset Management Ltd.30780109/21/2026Part 1; Part 2 brochure2,555,902,696 USD
Grant Street Asset Management Inc.10698009/21/2026Part 1; Form CRS768,881,121 USD
Gratus Wealth Advisors LLC32864109/21/2026Part 1; Part 2 brochure; Form CRS822,187,016 USD
Graylark Financial, LLC32583309/21/2026Part 1; Part 2 brochure47,706,761 USD
Greenfield Seitz Capital Management, LLC15043409/21/2026Part 1; Part 2 brochure; Form CRS363,362,682 USD
Hamel Associates, Inc.10712809/21/2026Part 2 brochure548,323,868 USD
Hampton Park Financial Planners31733209/21/2026Part 119,695,970 USD
Harbour Investments, Inc.1925809/21/2026Part 19,599,102,688 USD
Healthview Asset Management, Inc.14188409/21/2026Part 1; Part 2 brochure; Form CRS104,401,000 USD
Heron Bay Capital Management30553709/21/2026Part 1; Form CRS643,782,110 USD
HFG Capital33382309/21/2026Part 1; Part 2 brochure13,084,564 USD

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